SEC Form 4 · accession 0001205233-18-000089
QUALCOMM INC/DE · QCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander H Rogers
Officer — EVP & President, QTL
Period of report
Nov 20, 2018
Accepted (ET)
Nov 21, 2018 · 11:33 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000804328
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 20, 2018 | M | 7,001 | $0.00 | A | 11,345 | D | |
| Common Stock | Nov 20, 2018 | M | 5,766 | $0.00 | A | 17,111 | D | |
| Common Stock | Nov 20, 2018 | M | 7,380 | $0.00 | A | 24,491 | D | |
| Common Stock | Nov 20, 2018 | M | 12,242 | $0.00 | A | 36,733 | D | |
| Common Stock | Nov 20, 2018 | F | 2,421 | $54.92 | D | 34,312 | D | |
| Common Stock | Nov 20, 2018 | F | 1,994 | $54.92 | D | 32,318 | D | |
| Common Stock | Nov 20, 2018 | F | 3,298 | $54.92 | D | 29,020 | D | |
| Common Stock | Nov 20, 2018 | F | 6,645 | $54.92 | D | 22,375 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2 | — | Nov 20, 2018 | M | 5,767 | D | — | Nov 20, 2018 | Common Stock | 5,767 | 0 | D |
| Restricted Stock UnitF1,F3 | — | Nov 20, 2018 | M | 7,001 | D | — | Nov 20, 2019 | Common Stock | 7,001 | 21,762 | D |
| Restricted Stock UnitF1,F4 | — | Nov 20, 2018 | M | 7,380 | D | — | Nov 20, 2019 | Common Stock | 7,380 | 14,381 | D |
| Restricted Stock UnitF1,F5 | — | Nov 20, 2018 | M | 12,243 | D | — | Nov 20, 2020 | Common Stock | 12,243 | 24,486 | D |
Explanation of responses
- F1Each Restricted Stock Unit is the economic equivalent of one share of Qualcomm common stock and is converted into common stock upon vesting.
- F2The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2016, 2017 and 2018.
- F3The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-fourth amounts on November 20, 2016, 2017, 2018 and 2019.
- F4The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2017, 2018 and 2019.
- F5The Restricted Stock Units (and allocable dividend equivalents) vest in equal one-third amounts on November 20, 2018, 2019 and 2020.